Job Responsibilities:
- Manage incoming KYC/AML and/or similar information refresh requests from counterparties, and manage a program to perform Due Diligence and KYC on its own trading counterparties and vendors.
- Manage account opening process for trading-related accounts and services for all funds and SPVs.
- Explore and facilitate the application of AI technology in the firm's daily operations.
- Manage corporate documents and records for all management company and fund entities in a local and virtual data room, and coordinate with external law firms.
- Organization, preparation, and recordkeeping (including meeting minutes) of board meetings and all internal committee meetings (Tech & AI, Best Execution, Compliance, Risk, Conflicts, etc.).
- Assist in drafting, reviewing and/or coordinating board resolutions, deal transaction documentation, NDAs, vendor agreements, fund offering documents, trading account agreements, etc.
- Assist the Operations and/or Finance department in coordinating with various counterparties on certain documentation and procedural tasks.
- Other ad-hoc duties are occasionally assigned.
Job Requirements:
Two years of directly relevant working experience in either:
- An in-house legal department at a buy-side investment firm (e.g., hedge fund, private equity);
- A KYC/AML team within financial services companies (e.g., investment bank, asset manager, fund administration company).
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